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Nicholas Lampone

PINE VALLEY INVESTMENTS
Marlton, NJ 08053
Some features on this profile are disabled
CRD#: 3031552
NL

Professional summary

Nicholas Lampone, who also goes by Nicholas William Lampone, Nick Lampone, is a registered financial advisor currently at PINE VALLEY INVESTMENTS located in Marlton, New Jersey.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Nicholas has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicholas William Lampone | Nick Lampone

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Lampone's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 24, 2022 - Present

PINE VALLEY INVESTMENTS

Office #1: 10 E. Stow Rd. Suite 200, Marlton, NJ 08053
RIA
CRD#: 173995
Marlton, NJ
Past

November 18, 2019 - June 3, 2021

DALZELL TRADING, LLC

RIA
CRD#: 175349
Trevose, PA
Past

March 29, 2018 - June 3, 2021

DALZELL TRADING, LLC

BD
CRD#: 175349
Trevose, PA
Past

November 1, 2017 - March 8, 2018

BOENNING & SCATTERGOOD, INC.

BD
CRD#: 100
WEST CONSHOHOCKEN, PA
Past

September 16, 2002 - August 22, 2017

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

March 9, 1999 - September 4, 2002

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

April 22, 1998 - November 24, 1998

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PV
PINE VALLEY INVESTMENTS
MORAD, HARRY E | PINE VALLEY INVESTMENTS LIMITED LIABILITY COMPANY | PINE VALLEY INVESTMENTS

CRD#: 173995 / SEC#: 801-80742

RIA
Registered Investment Advisory firm - (1/8/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New Jersey
(2/24/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/12/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/28/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/19/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/19/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/19/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/19/2024
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/9/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/8/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/21/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/19/2024
General Securities Principal Examination

Current Firm

PV
PINE VALLEY INVESTMENTS
MORAD, HARRY E | PINE VALLEY INVESTMENTS LIMITED LIABILITY COMPANY | PINE VALLEY INVESTMENTS

CRD#: 173995 / SEC#: 801-80742

RIA
Registered Investment Advisory firm - (1/8/2015 Approved)
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Contact information

Main Address
10 E. Stow Rd. Suite 200, Marlton, NJ 08053
Mailing Address
Phone number
(856) 334-8260
Established
Firm type
Fiscal year end
# of Employees
37

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A- PINE VALLEY INVESTMENTS (3/19/2025)

Regulatory assets under management

Total Number of Accounts5,152
AUM (Assets Under Management)$ 2,183,420,313

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PINE VALLEY INVESTMENTS

CRD#: 173995Marlton, NJ 08053

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